Q16.Which of the following is a component of the Code of Ethics?

A)   Members and candidates shall not engage in any conduct or commit any act that compromises the integrity of the CFA designation or the integrity or validity of the examinations leading to the award of the right to use the CFA designation.

B)   Practice and encourage others to practice in a professional and ethical manner that will reflect credit on members and their profession.

C)   Members shall not copy or use, in substantially the same form as the original, material prepared by another without acknowledging and identifying the name of the author, publisher, or source of such material. Members may use, without acknowledgment, factual information published by recognized financial and statistical reporting services or similar sources.

Q17.Which of the following is a component of the Code of Ethics? CFA Institute members shall:

A)   act for the benefit of their clients and place their clients' interests before their own.

B)   strive to maintain and improve their competence and the competence of others in the profession.

C)   disclose to their employer all matters that reasonably could be expected to interfere with their duty to their employer or ability to make unbiased and objective recommendations.

Q18.The Code of Ethics does NOT explicitly say that a CFA Institute member shall do which of the following?

A)   Actively lobby for new laws to protect the public.

B)   Reflect credit on the profession.

C)   Act with integrity.

Q19.According to the Code of Ethics, a member reflects credit on the profession when a member:

A)   practices in a professional and ethical manner.

B)   consults with other members on a regular basis.

C)   places the clients first.

Q20.The first component of the Code of Ethics does NOT explicitly say that a CFA Institute member will act with which of the following?

A)   Integrity.

B)   Competence.

C)   Solemnity.

[此贴子已经被作者于2008-12-29 16:00:26编辑过]

答案和详解如下：

Q16.Which of the following is a component of the Code of Ethics?

A)   Members and candidates shall not engage in any conduct or commit any act that compromises the integrity of the CFA designation or the integrity or validity of the examinations leading to the award of the right to use the CFA designation.

B)   Practice and encourage others to practice in a professional and ethical manner that will reflect credit on members and their profession.

C)   Members shall not copy or use, in substantially the same form as the original, material prepared by another without acknowledging and identifying the name of the author, publisher, or source of such material. Members may use, without acknowledgment, factual information published by recognized financial and statistical reporting services or similar sources.

Correct answer is B)

This is a component of the Code of Ethics. Others pertain to the Standards of Practice.

Q17.Which of the following is a component of the Code of Ethics? CFA Institute members shall:

A)   act for the benefit of their clients and place their clients' interests before their own.

B)   strive to maintain and improve their competence and the competence of others in the profession.

C)   disclose to their employer all matters that reasonably could be expected to interfere with their duty to their employer or ability to make unbiased and objective recommendations.

Correct answer is B)

Striving to maintain and improve their competence and the competence of others in the profession is one of the components of the Code of Ethics, whereas the other statements are part of the Standards of Professional Conduct.

Q18.The Code of Ethics does NOT explicitly say that a CFA Institute member shall do which of the following?

A)   Actively lobby for new laws to protect the public.

B)   Reflect credit on the profession.

C)   Act with integrity.

Correct answer is A)

The Code of Ethics says nothing about a CFA Institute member lobbying for new laws. In fact, legal issues are not a part of the Code. The Standards of Professional Conduct say that the member shall obey laws.

Q19.According to the Code of Ethics, a member reflects credit on the profession when a member:

A)   practices in a professional and ethical manner.

B)   consults with other members on a regular basis.

C)   places the clients first.

Correct answer is A)

Component four of the Code says that a member shall “Practice and encourage others to practice in a professional and ethical manner that will reflect credit on members and the profession.” Neither of the other choices are implied by the Code.

Q20.The first component of the Code of Ethics does NOT explicitly say that a CFA Institute member will act with which of the following?

A)   Integrity.

B)   Competence.

C)   Solemnity.

Correct answer is C)

Component one mentions all of these except solemnity.

[此贴子已经被作者于2008-12-29 16:53:25编辑过]

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